The SEC charged two individuals with trading on material nonpublic information taken from a company's confidential earnings preview meeting.
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21975 News Results
An investment adviser settled SEC charges relating to alleged misrepresentations on fees and failures to disclose conflicts of interest.
SIFMA and the Asset Management Group raised concerns regarding an SEC-proposed rule that would create extensive reporting requirements for any individuals loaning a security.
An investment adviser settled SEC charges for breach of fiduciary duty in connection with its affiliates' receipt of third-party compensation related to the sale of shares in mutual funds.
A Hong Kong-based offshore trading and cross-border financing company settled its potential civil liability for apparent violations of the Iranian Transactions and Sanctions Regulations.